State v. Michael R. Griep
State v. Michael R. Griep
Opinion of the Court
¶ 1. We review a decision of the court of appeals
¶ 2. Griep appealed, contending that his right of confrontation was violated when the circuit court allowed Harding to rely in part on the analyst's forensic test results. The court of appeals affirmed, concluding that Griep's right of confrontation was not violated because Harding reviewed the analyst's forensic test results and other records and formed an independent opinion of Griep's BAC, as approved in State v. Williams,
¶ 3. We conclude that Harding's review of Griep's laboratory file, including the forensic test results of an analyst who was unavailable for trial, to form an independent opinion to which he testified did not violate Griep's right of confrontation. Williams, 253 Wis. 2d 99, ¶ 26; Barton, 289 Wis. 2d 206, ¶ 20. Accordingly, we affirm the court of appeals decision that affirmed the circuit court's admission of Harding's testimony.
¶ 4. This review involves Griep's claimed violation of his right of confrontation regarding Harding's expert testimony that was based in part on results of forensic tests conducted by an analyst who was unavailable for trial. The historic facts are not in dispute.
¶ 5. On Saturday, August 25, 2007, at approximately 12:48 a.m., a Winneconne Police Department officer stopped Griep for speeding, for which he planned to issue a warning ticket. However, while talking with Griep, the officer smelled the odor of alcohol and observed Griep's bloodshot and glassy eyes.
¶ 6. In response to the officer's question about alcohol consumption, Griep stated that he drank a couple of beers at a local bar. When the officer asked Griep to perform field sobriety tests, Griep agreed. Griep's performance on the field sobriety tests indicated that he was intoxicated. After further discussion, Griep admitted he had four beers. Griep agreed to perform a preliminary breath test that also indicated intoxication. The officer reviewed Griep's record, which showed two prior convictions for OWI. The officer transported Griep to a nearby hospital for a blood draw. At the officer's request, hospital staff conducted the blood draw without Griep's consent.
¶ 8. Wisconsin State Laboratory analyst Diane Kalscheur received and analyzed Griep's blood sample. Kalscheur authored a concise report stating: (1) she received Griep's labeled and sealed blood sample, and (2) Griep's blood was tested for ethanol and that testing revealed a certain ethanol concentration. Thomas Ecker, an Advanced Chemist at the laboratory, conducted a peer review of Kalscheur's report and signed the laboratory report under the statement "As designee of the Director, I do hereby certify this document to be a true and correct report of the findings of the Wisconsin State Laboratory of Hygiene."
¶ 9. At Griep's trial for third-offense OWI, the phlebotomist testified about instructions for collecting blood, using the kit provided by a police officer, and her role in inspecting the blood kit before its use.
¶ 10. Kalscheur was unavailable at the time of trial.
¶ 12. During cross-examination, Harding acknowledged that an analyst could commit misdeeds, possibly without detection. Harding also acknowledged that it is important that the analyst be competent and honest. Harding testified that when he testifies about forensic tests that he has personally completed, he relies on the paperwork and notes he completed at the time of testing because analysts at the laboratory conduct so many tests that no one can remember details about each particular sample without reviewing the notes that were made contemporaneously with the tests.
¶ 14. Griep appealed. Before the court of appeals issued its decision, the United States Supreme Court accepted a petition in State v. Bullcoming, 226 P.3d 1 (N.M. 2010). See Bullcoming v. New Mexico, 561 U.S. 1058 (2010) (granting certiorari). The court of appeals held Griep's case in abeyance pending the outcome in Bullcoming because the question presented in that case
¶ 15. As the court of appeals was again about to undertake Griep's appeal, the court learned that the United States Supreme Court had granted certiorari in another relevant case, People v. Williams, 939 N.E.2d 268 (Ill. 2010). See Williams v. Illinois, _ U.S. _, 131 S. Ct. 3090 (2011) (granting certiorari). The court of appeals once again held Griep's case to await the outcome in Williams v. Illinois because the decision on the
¶ 16. On May 15, 2013, the court of appeals certified the appeal to us.
II. DISCUSSION
A. Standard of Review
¶ 17. We review whether Harding's testimony, particularly his reliance on testing conducted by
B. Confrontation Clause
¶ 18. Griep argues that Harding's testimony violated his rights under the Confrontation Clause. The Sixth Amendment Confrontation Clause provides "In all criminal prosecutions, the accused shall enjoy the right... to be confronted with the witnesses against him." We begin by recognizing that the Sixth Amendment right of an accused to confront the witnesses against him is a fundamental right, as made applicable to and obligatory on the states by the Fourteenth Amendment. Pointer v. Texas, 380 U.S. 400, 403 (1965) (concluding that the Sixth Amendment right to confront witnesses against the accused is a fundamental right).
f 19. In Williams, we first examined whether a laboratory unit leader's trial testimony, based in part on a report authored and tests conducted by an analyst who did not testify at trial, violated the Confrontation Clause. Williams was on trial for possession of cocaine with intent to deliver. Williams, 253 Wis. 2d 99,
¶ 20. We held that the unit leader's testimony did not violate Williams' right of confrontation. Id., ¶¶ 20, 26. We stated:
[T]he presence and availability for cross-examination of a highly qualified witness, who is familiar with the procedures at hand, supervises or reviews the work of the testing analyst, and renders her own expert opinion is sufficient to protect a defendant's right to confrontation, despite the fact that the expert was not the person who performed the mechanics of the original tests.
Id., ¶ 20. Regarding the independent expert's opinion, we opined that "an expert who forms an opinion based in part on the work of others and an expert who merely summarizes the work of others" are quite different because in that later instance, the expert would be "a mere conduit for the opinion of another." Id., ¶ 19.
¶ 21. We concluded that the expert witness in Williams was highly qualified to render an expert opinion and was closely connected to the tests and procedures involved in the actual tests. Id., ¶¶ 21-22. The expert witness was a unit leader at the Wisconsin State Laboratory with nine years of experience, a bachelor's degree in chemistry with some graduate courses, who had substantial experience analyzing for the presence of controlled substances. Id., ¶ 21. The
¶ 22. We also considered whether a laboratory report authored by the non-testifying analyst violated the defendant's right of confrontation when it was admitted into evidence. Id., ¶ 32. We analyzed the admissibility of the report and the expert witness's testimony as two separate issues. Id. First, we held that the laboratory report was not properly admitted as a business record under Wis. Stat. § 908.03(6) (1997-98), in part because it was prepared for litigation. Id., ¶ 49. However, we concluded that the report's admission was harmless error. Id., ¶ 50. Second, we evaluated the expert witness's testimony. In reaching our conclusion that admission of the report was harmless error, we regarded the expert witness's testimony as compelling and credible evidence from which the
¶ 23. Griep's contention appears to be addressed by the rule we set out in Williams. However, before proceeding to apply Williams to his claimed Confrontation Clause violation, we consider whether federal opinions issued subsequent to Williams, including Crawford, Bullcoming v. New Mexico, _ U.S. _, 131 S. Ct. 2705 (2011), and Williams v. Illinois, _ U.S. _, 132 S. Ct. 2221 (2012), affect our conclusions in Williams.
1. Relevant federal opinions
¶ 24. In 2004, the United States Supreme Court took up the Confrontation Clause in Crawford. At Crawford's trial for assault and attempted murder, he claimed self-defense. Crawford, 541 U.S. at 40. The defendant's wife did not testify "because of the state marital privilege, which generally [barred] a spouse from testifying without the other spouse's consent." Id. "[The] privilege [did] not extend to a spouse's out-of-court statements admissible under a hearsay exception." Id. The state sought to admit the wife's statement to police as a statement against penal interest. Id. On review, the Supreme Court held that admission of out-of-court testimonial statements violated the Confrontation Clause unless the declarant is unavailable and the defendant had a prior opportunity to cross-examine the declarant. Id. at 59.
¶ 25. Crawford's discussion of testimonial statements of an unavailable declarant is consistent with the Williams requirement that in order to be permitted
¶ 26. Subsequent to the Supreme Court's decision in Crawford, the court of appeals applied Williams. Barton, 289 Wis. 2d 206, ¶¶ 9, 20. In Barton, the court of appeals' discussion focused on whether a unit leader at the state crime laboratory could testify based in part on tests performed by another analyst. The unit leader at the state crime laboratory testified about chemical tests performed by an analyst who was unavailable at trial. Id., ¶ 4. The expert witness conducted peer review of the analyst's tests and testified as to his independent expert opinion. Id., ¶¶ 4,16. The State did not seek to admit the laboratory report that detailed the analyst's test results. Id., ¶ 4.
¶ 27. The court of appeals applied Williams and held the testimony did not violate Barton's right of confrontation.
¶ 28. The court of appeals also clarified the effect of Crawford on Williams: "The holding in Crawford does not undermine our supreme court's decision in Williams. Williams is clear: A defendant's confrontation right is satisfied if a qualified expert testifies as to his or her independent opinion, even if the opinion is based in part on the work of another." Id., ¶ 20.
¶ 29. In Melendez-Diaz, the United States Supreme Court again took up the admissibility of forensic reports created by a non-testifying laboratory analyst. At issue was whether affidavits reporting forensic analyses were testimonial, "rendering the affiants 'wit
Our answer is in line with controlling precedent: As a rule, if an out-of-court statement is testimonial in nature, it may not be introduced against the accused at trial unless the witness who made the statement is unavailable and the accused has had a prior opportunity to confront that witness.
Id.
¶ 31. The Supreme Court's discussion in Bull-coming differs from the section of our Williams decision that is relevant to Griep's contention of a Confrontation Clause violation. In Bullcoming, the prosecution admitted the forensic report as a business record in
¶ 32. Justice Sotomayor emphasized the limited reach of Bullcoming in her concurrence. Id. at 2722 (Sotomayor, J., concurring). She wrote separately to highlight her view that the laboratory report was testimonial because its primary purpose was evidentiary, but she also wrote "to emphasize the limited reach of the Court's opinion." Id. at 2719. Justice Sotomayor distinguished Bullcoming from other cases where the trial witness "is a supervisor, reviewer, or someone else with a personal, albeit limited, connection to the scientific test at issue." Id. at 2722. She also distinguished cases where the expert witness was asked for and gave an independent opinion about underlying testimonial reports that were not admitted into evidence. Id. She noted that in Bullcoming, the prosecution acknowledged that the witness offered no opinion about the BAC. Justice Sotomayor concluded: "We would face a different question if asked
¶ 33. The Supreme Court provided guidance on when out-of-court testimonial statements are admissible, when statements are testimonial, and under what circumstances testimonial laboratory reports are admissible in Crawford, Melendez-Diaz, and Bullcoming. Crawford, 541 U.S. at 59; Melendez-Diaz, 557 U.S. at 311; Bullcoming, 131 S. Ct. at 2713. Wisconsin cases, Williams and Barton, go a step further and address situations where the State does not offer the laboratory report into evidence, but instead offers the independent opinion of an analyst who did not perform the tests. Williams, 253 Wis. 2d 99, ¶ 20; Barton, 289 Wis. 2d 206, ¶ 16. Stated otherwise, federal Confrontation Clause opinions predating Williams v. Illinois do not affect our rule in Williams, or the court of appeals' application in Barton. We now examine whether Williams v. Illinois affects Williams and Barton.
¶ 34. Williams v. Illinois, the Supreme Court's most recent Confrontation Clause opinion that examines presentation of expert opinion, involved Williams' bench trial for rape. There, the prosecutor called a forensic specialist at the Illinois State Police laboratory who testified that according to the police laboratory's business records, the victim's vaginal swabs were sent to Cellmark, an outside, accredited laboratory. Williams v. Illinois, 132 S. Ct. at 2229. Cellmark
| 35. Williams v. Illinois is a plurality opinion with Justice Thomas concurring in judgment.
| 36. In determining what effect a plurality opinion has on our review, we apply Marks v. United States,
¶ 37. Williams v. Illinois does not contain a "narrowest opinion." Williams v. Illinois, 132 S. Ct. at 2228, 2244-45 (Breyer, J., concurring), 2255 (Thomas, J., concurring); Deadwiller, 350 Wis. 2d 138, ¶ 32. Five justices of the United States Supreme Court concluded in Williams v. Illinois that, in certain circumstances, the Confrontation Clause does not bar an expert witness from basing his or her testimony on a forensic laboratory report prepared by another analyst when the defendant was never given an opportunity to cross-examine the analyst who prepared the report or conducted the forensic testing. Williams v. Illinois, 132 S. Ct. at 2228. However, no opinion gathered a majority of the Court. Id. at 2244, 2252 (Breyer, J., concurring), 2261 (Thomas, J., concurring). The four justices of the plurality concluded that the testimony did not violate the Confrontation Clause because the report was not used to prove the truth of the matter asserted and its primary purpose was not to accuse a targeted individual of a crime. Id. at 2243. While a fifth justice agreed with the disposition of the case, he concluded that the report was non-testimonial because it "lacked the requisite 'formality and solemnity' to be considered 'testimonial.' "
¶ 38. Therefore, Williams v. Illinois is binding only as to its "specific result." Deadwiller, 350 Wis. 2d 138, ¶ 30 (citing Berwind Corp., 307 F.3d at 234). A plurality opinion without a narrowest grounds concurrence requires a specific result when the parties are in a substantially identical position. Berwind, 307 F.3d at 234. Griep is not in a substantially identical position to the parties in Williams v. Illinois. The difference between Griep's circumstances and those in Williams v. Illinois is illustrated by our recent opinion in Deadwiller.
¶ 39. Deadwiller is our sole Confrontation Clause case since Williams v. Illinois. In Deadwiller, the defendant was identified as a suspect in a sexual assault through a DNA profile derived at an out-of-
In both cases, the victim reported the crime and underwent a sexual assault examination, which produced vaginal swabs containing DNA of the perpetrator. In both cases, police officers picked up the evidence, inventoried the evidence, and sent the evidence to the state crime lab, which then sent the evidence to an out-of-state laboratory for DNA testing. Further, the out-of-state laboratory in both cases sent back the genetic material and a DNA profile of the perpetrator produced from the vaginal swabs. In both cases, state crime lab analysts entered the DNA profile into a DNA database, which resulted in a match to the defendant. When called to testify, the state crime lab analyst in both cases reported that the DNA profile sent by the out-of-state lab matched the DNA profile resulting from the database. The DNA profile was not introduced into evidence in either case. Prosecutors in both cases introduced inventory reports, evidence receipts, and testimony to prove a chain of custody, i.e. that the DNA profile was produced from swabs taken from the victims.
Id.
2. Griep's circumstances
¶ 41. In the case now before us, we compare the parties' positions in Griep to that of the parties' positions in Williams v. Illinois and conclude that they are not in substantially identical positions. First, this is not a sexual assault case. Cf. Williams v. Illinois, 132 S. Ct. at 2229. Here, analysts used a laboratory test, gas chromatography, to determine Griep's BAC, which differs from the creation of a DNA profile and the process of matching DNA profiles that was used in Williams v. Illinois. Cf. id. Second, the analyst conducted all of the laboratory work here in the same laboratory that employed the expert witness, rather than utilizing work provided by an outside laboratory. Cf id. at 2229-30. The only similarity between this case and Williams v. Illinois is that the prosecution did not introduce the forensic reports into evidence in either case. Id. at 2230.
¶ 42. We conclude Griep is not in a substantially identical position to Williams. Therefore, the specific result of Williams v. Illinois is not binding in this case as it was in Deadwiller. Cf. Deadwiller, 350 Wis. 2d
¶ 43. Aside from its discussion of the Williams v. Illinois rationales, Deadwiller also provides our only post -Williams v. Illinois analysis of Williams and Barton. Id., ¶¶ 37-40. We concluded that Williams and Barton are consistent with our application of the specific result of Williams v. Illinois. Id., ¶ 37. We applied Williams and Barton to the facts in Deadwiller and determined that the expert witness reviewed the out-of-state laboratory's procedures and offered his independent conclusion, and therefore did not violate the defendant's right of confrontation. Id., ¶ 40.
¶ 44. As we tacitly recognized in Deadwiller, nothing in Williams u. Illinois affects our decision in Williams and its application by the court of appeals in Barton
C. Admission of Patrick Harding's Testimony
¶ 45. We rely on pr e-Williams v. Illinois opinions, as well as our only Confrontation Clause decision after Williams v. Illinois, Deadwiller, to determine whether the State's witness, Patrick Harding, testified in violation of Griep's right of confrontation.
¶ 47. Consistent with Williams and Barton, the pre-Williams v. Illinois law of this jurisdiction, Harding's testimony did not violate Griep's right of confrontation; accordingly, his testimony was properly admit
1. Review
¶ 48. In both Williams and Barton, the analyst who conducted the testing was unavailable to testify at trial. Instead, the analysts' supervisors testified as expert witnesses about the independent opinions they formed. Williams, 253 Wis. 2d 99, ¶ 22; Barton, 289 Wis. 2d 206, ¶ 15. In both Williams and Barton, the supervisors conducted reviews in the ordinary course of laboratory procedures. Williams, 253 Wis. 2d 99, ¶ 22; see Barton, 289 Wis. 2d 206, ¶ 14.
¶ 49. Peer review generally involves examining the notes taken and data collected in the case to make sure the conclusions written in the report are correct. Williams, 253 Wis. 2d 99, ¶ 22. In Williams, the expert witness testified how peer review operates when testing for a controlled substance: she compared the graphical data yielded by the tests and graphs reflect
¶ 50. Here, Harding did not conduct a formal peer review of Kalscheur's tests. Instead, peer review was completed by Thomas Ecker, an advanced chemist at the laboratory. However, Harding completed the same examination as occurs in the formal peer review. Harding examined "[t]he same data that is available the day after the analysis for the person that reviewed the report when it went out and that is the chromatograms and the paperwork associated with the whole analytical run that Diane did on the 30th of August, 2007." In short, Harding reviewed the same data as the peer reviewer.
¶ 51. Our decisions indicate that the review necessary to protect a defendant's right of confrontation need not be formal peer review. Williams, 253 Wis. 2d 99, ¶ 20; Deadwiller, 350 Wis. 2d 138, ¶ 40. In Williams, we reasoned: "the presence and availability for cross-examination of a highly qualified witness, who is familiar with the procedures at hand, supervises or reviews the work of the testing analyst, and renders her own expert opinion is sufficient to protect a defendant's right to confrontation." Williams, 253 Wis. 2d 99, ¶ 20. Similarly, in Deadwiller, the expert witness's review of the out-of-state laboratory's DNA profile,
¶ 52. Harding's review of Kalscheur's report, data, and notes fulfills the Williams review requirement because he reexamined the data. See Williams, 253 Wis. 2d 99, ¶¶ 22-23. Therefore, Harding's review was sufficient to protect Griep's right of confrontation, when combined with Harding's independent opinion.
2. Independent opinion
¶ 53. In both Williams and Barton, the expert witness offered his or her independent opinion based in part on the data provided by the non-testifying analyst and the expert witness's own expertise. See Williams, 253 Wis. 2d 99, ¶¶ 25-26; Barton, 289 Wis. 2d 206, ¶ 16. Williams and Barton also discussed the expert witnesses' qualifications and noted they were qualified to give an expert opinion based on the information before them. Williams, 253 Wis. 2d 99, ¶ 21; Barton, 289 Wis. 2d 206, ¶¶ 13, 16. We discussed the role of an independent opinion most thoroughly in Williams, where we stated that "one expert cannot act as a mere conduit for the opinion of another." Williams, 253 Wis. 2d 99, ¶ 19. However, we recognized that an expert may form an independent opinion based in part on the work of others without acting as a "conduit." Id., ¶ 25.
¶ 54. In Williams, the expert witness reviewed the tests done by another analyst, including the data and notes, and then formed her own opinion. Id. We concluded that the testifying expert's opinion was sufficiently independent to protect the defendant's right of confrontation, and was not a mere recitation of another analyst's conclusions. Id., ¶¶ 25-26. In Bar
¶ 55. Here, Harding was qualified to present testimony on the laboratory procedures and come to an independent opinion regarding Griep's BAC. To arrive at his conclusion, Harding relied on his review of data collected by Kalscheur, other records compiled at the laboratory, and his own expertise. Pointing to Harding's lack of personal knowledge of Kalscheur's testing of Griep's blood sample, Griep argues that Harding's opinion could not have been independent. However, we held in Williams, and the court of appeals held in Barton, that it was acceptable that the analyst's report, data, and notes were the factual bases of the expert witness's opinion, in addition to the witness's own professional expertise. Williams, 253 Wis. 2d 99, ¶ 25; Barton, 289 Wis. 2d 206, ¶ 13. Williams and Barton conclude that an expert witness need not have personal knowledge of the forensic tests, as long as the witness's opinion is reached independently and is not merely a recitation of another's conclusions. See Williams, 253 Wis. 2d 99, ¶ 25; Barton, 289 Wis. 2d 206, ¶¶ 13, 16. In each case, the expert witness rendered an independent opinion by reviewing data and notes from the analyst and the expert testified as to the general procedures for preparing and testing samples.
¶ 56. Harding reviewed Kalscheur's test results and other relevant laboratory records and he testified as to his independent opinion. In accordance with Williams and Barton, Harding's testimony did not violate Griep's right of confrontation. Williams, 253 Wis. 2d 99, ¶ 26; Barton, 289 Wis. 2d 206, ¶ 20.
III. CONCLUSION
¶ 57. We conclude that Harding's review of Griep's laboratory file, including the forensic test results of an analyst who was unavailable for trial, to form an independent opinion to which he testified did not violate Griep's right of confrontation. Williams, 253 Wis. 2d 99, ¶ 26; Barton, 289 Wis. 2d 206, ¶ 20. Accordingly, we affirm the court of appeals decision that affirmed the circuit court's admission of Harding's testimony.
By the Court. — The decision of the court of appeals is affirmed.
State v. Griep, 2014 WI App 25, 353 Wis. 2d 252, 845 N.W.2d 24.
The Honorable Thomas J. Gritton of Winnebago County, presided.
We refer to all subsequent references to State v. Williams, 2002 WI 58, 253 Wis. 2d 99, 644 N.W.2d 919, as Williams. We refer to Williams v. Illinois, _ U.S. _, 132 S. Ct. 2221 (2012), a different case, as Williams v. Illinois.
The warrantless, nonconsensual search is not an issue in our review. Griep has not claimed that his blood draw was unconstitutional before the circuit court, court of appeals, or during our review. See Missouri v. McNeely, 569 U.S. _, 133 S. Ct. 1552, 1556 (2013), abrogating our decision in State v. Bohling, 173 Wis. 2d 529, 547, 494 N.W.2d 399 (1993); see also State v. Foster, 2014 WI 131, ¶ 6, 360 Wis. 2d 12, 856 N.W.2d 847; State v. Kennedy, 2014 WI 132, ¶ 33, 359 Wis. 2d 454, 856 N.W.2d 834.
Kalscheur was on leave at the time of trial.
The question presented in Bullcoming was " [wjhether the Confrontation Clause permits the prosecution to introduce testimonial statements of a nontestifying forensic analyst through the in-court testimony of a supervisor or other person who did not perform or observe the laboratory analysis described in the statements." Petition for a Writ of Certiorari at i, Bullcoming v. New Mexico, _ U.S. _, 131 S. Ct. 2705 (2011) (No. 09-10876), 2010 WL 3761875.
The question presented in Williams v. Illinois was "[wjhether a state rule of evidence allowing an expert witness to testify about the results of DNA testing performed by non-testifying analysts, where the defendant has no opportunity to confront the actual analysts, violates the Confrontation Clause." Petition for a Writ of Certiorari at i, Williams v. Illinois, _ U.S. _, 132 S. Ct. 2221 (No. 10-8505), 2010 WL 6817830.
The court of appeals, in its certification, defined the issue as "Is an OWI defendant's right to confront the witnesses against him violated when a supervisor of the state crime lab testifies that a lab report prepared and certified by another, but unavailable, lab analyst establishes the defendant's illegal blood alcohol concentration? Does it make a difference that the lab
Stated otherwise, Williams permits a "substitute expert" to testify when "the original test was documented in a thorough way that permits the substitute expert to evaluate, assess, and interpret it." David H. Kaye, David E. Bernstein, & Jennifer L. Mnookin, The New Wigmore: Expert Evidence, § 4.10.2, p. 204 (2d ed. 2010). Furthermore, "the surrogate can be meaningfully cross-examined about the tests that were conducted (and those that were not), and questioned about the legitimacy of the original analyst's conclusions and interpretations." Id.
The instant case does not present the same issues as Crawford as the testimonial statements of an unavailable declarant were not admitted into evidence in this case. Cf. Crawford v. Washington, 541 U.S. 36, 40 (2004). Stated otherwise, because neither Kalscheur's report nor the report's conclusion was admitted into evidence, the Crawford holding is not at issue.
The court of appeals also referred to cases decided after Crawford from other jurisdictions, holding similar testimony did not violate the Confrontation Clause. State v. Barton, 2006 WI App 18, ¶¶ 21-22, 289 Wis. 2d 206, 709 N.W.2d 93 (citing
Likewise, Griep's contention does not present the same issues as Melendez-Diaz because the non-testifying analyst's written report and other records were not admitted into evidence. See United States v. Turner, 709 F.3d 1187, 1190 (7th Cir. 2013) (concluding that a case involving testimony based in part on another analyst's forensic tests did not present a Melendez-Diaz problem). Therefore, whether the laboratory report here was created specifically to serve as evidence in a criminal proceeding, or introduced to prove the truth of the matter asserted, is not relevant to our review. See Melendez-Diaz v. Massachusetts, 557 U.S. 305, 309 (2009) (introducing drug analysis report to prove substance was cocaine).
Justice Breyer also wrote a concurrence in Williams v. Illinois, but in contrast to Justice Thomas, he joined the plurality's opinion in full. See Williams v. Illinois, 132 S. Ct. at 2244-45, 2252 (Breyer, J., concurring).
See also Ass'n of Bituminous Contractors, Inc. v. Apfel, 156 F.3d 1246, 1254-55 (D.C. Cir. 1998) (agreeing that when Marks does not apply for lack of a "narrowest opinion," the only binding aspect of a particular fractured opinion was its specific result); Shenango Inc. v. Apfel, 307 F.3d 174, 185 (3d Cir. 2002) (stating that the only binding aspect of a fragmented decision without a narrower ground is the specific result); Lair v. Bullock, 697 F.3d 1200, 1205 (9th Cir. 2012) (stating that if no opinion of the Court is narrow, the splintered decision is binding only as to its specific result); Gibson v. Am. Cyanamid Co., 760 F.3d 600, 615, 619—20 (7th Cir. 2014) (acknowledging a fractured opinion produced only its specific result as binding precedent because no opinion was narrowest); State v. Michaels, 95 A.3d 648, 665-66 (N.J. 2014) (citing Deadwiller and
Justice Thomas' concurrence in Williams v. Illinois also explicitly rejected the plurality's "flawed analysis" and asserted that "there was no plausible reason for the introduction of Cellmark's statements other than to establish their truth." Williams v. Illinois, 132 S. Ct. at 2255-56 (Thomas, J., concurring).
Under Marks, the positions of the justices who dissented from the judgment are not counted in examining the divided opinions for holdings. Marks v. United States, 430 U.S. 188, 193 (1977). Rather, Marks instructs that the holding is the narrowest position "taken by those Members who concurred in the judgment]]." Id. (internal quotation marks and citation omitted). Therefore, Marks rejects any contention that the holding of Williams v. Illinois is Justice Thomas' and the dissent's rejection of the plurality's not-for-the-truth rationale. Cf. Leading Cases, 126 Harv. L. Rev. 266, 276 (Nov. 2012).
Other courts have also held Williams v. Illinois is "confined to the particular set of facts presented in that case." United States v. James, 712 F.3d 79, 95 (2d Cir. 2013) (applying pre-Williams v. Illinois opinions); accord Jenkins v. United States, 75 A.3d 174, 189 (D.C. Cir. 2013) (agreeing Williams v. Illinois is confined to its facts and applying pre-Williams v. Illinois opinions in the Supreme Court and its own jurisdiction).
Marks does not apply when no concurring opinion is narrower than the others. See Marks, 430 U.S. at 193; State v. Deadwiller, 2013 WI 75, ¶ 30, 350 Wis. 2d 138, 834 N.W.2d 362; King v. Palmer, 950 F.2d 771, 781 (D.C. Cir. 1991).
Cf. Deadwiller, 350 Wis. 2d 138, ¶ 32 (concluding Deadwiller was in a substantially identical position in a case with different facts).
However, we note that Crawford, Melendez-Diaz, and Bullcoming are not helpful to our analysis because they focus on when out-of-court testimonial statements may be entered into evidence and what statements are testimonial. Crawford, 541 U.S. at 59; Melendez-Diaz, 557 U.S. at 311; Bullcoming, 131 S. Ct. at 2713. As our focus here is on the witness's in-court testimony, Crawford, Melendez-Diaz, and Bullcoming do not guide our analysis.
It is significant that the laboratory file included not only Kalscheur's report but also raw data, gas chromatograms. This provided "adequate detail for an expert to do his own analysis and reach his own conclusions." See Kaye, et al., supra note 9,
That Harding arrived at and testified to the same conclusion as Kalscheur's report, that Griep's BAC was 0.152, does not require us to conclude that Harding's testimony introduced Kalscheur's report. Harding's review of Griep's laboratory file and his opinion formed by interpretation of raw data using his expertise merely yielded the same independent opinion reached by Kalscheur.
United States Supreme Court opinions prior to Williams v. Illinois do not assist in our analysis or affect the value of Williams and Barton, as previously discussed. Additionally, Williams v. Illinois does not affect the value of those two cases. See Deadwiller, 350 Wis. 2d 138, ¶¶ 37—40.
In Barton, the expert testified as to both the general laboratory procedures and, after review of the data and notes, that the analyst seemed to have followed the general procedures. Barton, 289 Wis. 2d 206, ¶¶ 13-14. Here, Harding stated that "all indications are that the procedures were
Concurring Opinion
¶ 59. {concurring). The United States Supreme Court has not yet defined the contours of the limitations imposed by the
¶ 60. In the meantime, however, federal and state courts must determine how the Confrontation Clause applies to forensic evidence and expert testimony.
¶ 61. As courts develop and apply this evolving body of law, the "ultimate goal" of the Confrontation Clause must be remembered: To ensure that the reliability of evidence is "assessed in a particular manner," namely "by testing in the crucible of cross-examination."
¶ 62. In Crawford v. Washington, 541 U.S. 36, 61 (2004), the United States Supreme Court declared that
¶ 63. In Wisconsin, a forensic report regarding a particular defendant that is created for prosecutorial purposes is considered an out-of-court testimonial statement.
¶ 64. Ambiguity remains regarding the precise circumstances under which the Confrontation Clause permits the introduction of substitute expert testimony about forensic test results when the forensic report itself is not introduced.
¶ 65. In State v. Williams, 2002 WI 58, 253 Wis. 2d 99, 644 N.W.2d 919, this court established that the Confrontation Clause does not allow the State to call a surrogate expert to the witness stand simply to have the expert read or summarize a forensic report authored by someone else. The court held that "one expert cannot act as a mere conduit for the opinion of another" without violating the defendant's constitutional right to confront the State's witnesses.
¶ 67. In the present case, the State obtained a testimonial forensic report that concludes the defendant's blood alcohol content was 0.152 percent. The analyst who prepared the forensic report was unavailable for trial. The analyst had not, however, been cross-examined by the defendant previously. Thus, the forensic report itself could not be introduced.
¶ 68. The State did not introduce the forensic report. Instead, the State called Patrick Harding, an employee in the same laboratory in which the forensic analysis was conducted, as a substitute expert witness to testify in lieu of the analyst who prepared the report.
¶ 69. Harding had no personal connection with the forensic report at issue. He had not observed the defendant's blood sample and had not participated in its testing. Harding nevertheless testified about the subject matter of the forensic report and testified that in his opinion, the defendant's blood alcohol content was 0.152 percent.
¶ 71. Crawford does not govern the introduction of testimony based on an out-of-court testimonial statement; it governs the introduction of the out-of-court testimonial statement itself. Thus, the majority opinion reasons, there was no Confrontation Clause violation in the instant case.
¶ 72. I disagree with the majority opinion's analysis. It is a stretch, in my view, to call Harding's opinion independent. I conclude that Harding served as a conduit for the opinion of the analyst who performed the forensic testing at issue. In my opinion, the analyst's out-of-court testimonial statement was introduced — albeit indirectly — through Harding's testimony.
¶ 73. Under a strict reading of Crawford, Harding's testimony violated the defendant's Confrontation Clause rights because the analyst whose out-of-court testimonial statement Harding indirectly introduced had not previously been cross-examined by the defendant. I conclude, however, that such a narrow reading of Crawford and its progeny improperly ignores the values underlying the Confrontation Clause and the practical realities the State and the courts face in cases that rely on forensic evidence. It also fails to take into account the reliability of forensic evidence and fails to
¶ 74. In my opinion, courts should search for fair, practical, and workable evidentiary rules and should not deem the Confrontation Clause violated whenever the prosecution fails to call to the witness stand all whose testimony may be relevant to the accuracy of the forensic testing at issue in a particular case.
¶ 75. Keeping the majority, plurality, and minority writings of the justices of the United States Supreme Court in Crawford and its progeny in mind, and seeking the best interpretation of the law available in light of the authorities binding upon this court, I conclude that the substitute expert testimony at issue in the instant case satisfies the Confrontation Clause.
I
¶ 76. I begin by examining the majority opinion's determination that Harding testified to an independent opinion and was not merely a conduit for the opinion of the analyst who performed the forensic testing at issue.
¶ 77. State v. Williams, 644 N.W.2d 919, ¶¶ 25-26, 253 Wis. 2d 99, 644 N.W.2d 919, held that an expert witness other than the analyst who performed the forensic testing at issue can testify to "an independent expert opinion" without violating the Confrontation Clause, even when that opinion is based in part "on facts and data gathered by someone else." Whether the opinion provided by such a substitute expert witness is an independent one must be determined on a case-by-case basis.
¶ 79. It is clear, however, that for purposes of the Confrontation Clause, a substitute expert witness must do more than merely recite or summarize the work of another.
¶ 80. In the present case, Harding testified that he was offering an independent opinion. Harding's characterization of his testimony is not binding on the court and is not supported by the record.
¶ 81. Harding stated at trial that he reviewed the analyst's "report when it went out and that is the chromatograms and the paperwork associated with the whole analytical run that [the analyst] did."
¶ 82. Harding was familiar with the policies and procedures of the laboratory in which the forensic analysis took place. He testified that all indications were that standard laboratory procedures were followed and that the chromatograph machine was properly calibrated.
¶ 84. In sum, Harding was unable to say whether the blood sample was received intact or whether the blood alcohol content testing was performed according to protocol. "These are the kinds of facts that mattered to the Bullcoming Court."
¶ 85. Harding's only basis for determining the defendant's blood alcohol content was the analyst's report and supporting documentation. Harding did not, and could not, offer any different or additional analysis beyond that contained in the forensic report and attached materials. Harding had no greater connection with the specific forensic testing at issue than any other qualified forensic analyst from Harding's lab would have had.
¶ 86. The documents and information Harding reviewed were not, in my view, sufficient to enable Harding to independently "understand, interpret, and evaluate the [forensic test] results."
¶ 87. My position that Harding failed to provide an independent opinion is supported by the United States Supreme Court's reasoning in Bullcoming v. New Mexico, 131 S. Ct. 2705 (2011), and Melendez-Diaz v. Massachusetts, 557 U.S. 305 (2009).
¶ 88. In Bullcoming, the United States Supreme Court debunked the notion that an analyst who performs a blood alcohol content test is a "mere scrivener," cross-examination of whom serves no legitimate purpose. Bullcoming makes clear that the analyst who tested the defendant's blood sample has valuable information about the test results beyond the information set forth in the materials produced by the gas chromatograph machine. Thus, the opportunity to cross-examine the analyst is important.
¶ 89. The Bullcoming Court explained that "[s]everal steps are involved in the gas chromatograph process, and human error can occur at each step."
¶ 90. In other words, according to the Bullcoming Court, an analyst's testifying and submitting to cross-examination at trial are not hollow formalities.
¶ 91. Similarly, Melendez-Diaz stresses that a substitute expert witness who testifies based solely on the results of the gas chromatograph process will have little to no knowledge of the past events and human actions that helped determine those results. As a result, cross-examination of the substitute expert witness cannot effectively uncover mistakes or misconduct by the analyst, which can render the results of the gas chromatograph process unreliable.
¶ 92. In Melendez-Diaz, the Court acknowledged that "[fjorensic evidence is not uniquely immune from the risk of manipulation."
¶ 93. Harding appears to have recognized the dangers posed by admitting his testimony in lieu of
¶ 94. This colloquy demonstrates the inherent limits to what an expert can know about gas chromatography testing performed by someone else. Because of these limits, a substitute expert witness can do little more than summarize the work and parrot the findings of the analyst who performed the testing. Harding was no different; he summarized the work and parroted the findings of the analyst who performed the forensic testing at issue.
¶ 95. In sum, a careful reading of case law and of Harding's testimony reveals that Harding was unable to testify about the gas chromatograph process at issue other than by relying on, and disclosing the substance of, materials generated by another analyst's use of the gas chromatograph machine.
¶ 96. The State called Harding as a witness in order to introduce the otherwise inadmissible conclusion of a testimonial forensic report prepared by someone else. Harding could not provide insight into the testing process other than by disclosing the substance of the report itself. Under the circumstances of the present case, Harding did not provide an independent opinion. The values underlying the Confrontation
II
¶ 97. In my view, a defendant's Confrontation Clause rights must be balanced against the practical reality that cross-examining the forensic analyst who performed the testing at issue will not always be possible or necessary. Courts should not — and need not under current United States Supreme Court precedent —exclude forensic evidence that has indicia of reliability when the analyst who performed the testing is unavailable but a substitute expert witness is available to provide useful and significant information about that evidence and to submit to cross-examination.
¶ 98. Thus, although I conclude that Harding's testimony indirectly introduced an out-of-court testimonial statement made by an unavailable analyst who had not previously been cross-examined, and although I conclude that the Confrontation Clause would be better protected by testimony from, and cross-examination of, the analyst who conducted the forensic testing at issue, my analysis does not end there.
¶ 99. As Justice Kennedy's dissent in Bullcoming explains, the United States Supreme Court lacks the experience and familiarity with state trial processes
¶ 100. When an analyst becomes unavailable without first submitting to cross-examination by the subject of the analyst's forensic testing, what happens to the results produced by that testing? If Crawford imposes a rigid, wholesale ban on non-independent substitute expert testimony about forensic test results when an unavailable forensic analyst has not previously been cross-examined, how could the results be introduced? In short, they could not.
¶ 101. It seems to me, however, that Crawford does not dictate such rigidity. I reach this conclusion based on Crawford itself (which recognizes that the opportunity to cross-examine a witness at trial is not always possible or necessary
¶ 102. The separate writings issued in Bullcoming are particularly instructive.
¶ 103. Justice Sotomayor's concurrence in Bull-coming makes clear that the Court "would face a different question [than faced in Bullcoming and prior cases] if asked to determine the constitutionality of allowing an expert witness to discuss others' testimonial statements if the testimonial statements were not
¶ 104. Justice Sotomayor emphasized that Bull-coming should be read narrowly. Justice Sotomayor wrote that Bullcoming and prior cases would not control future cases in which "the person testifying is a supervisor, reviewer, or someone else with a personal, albeit limited, connection to the scientific test at issue."
¶ 105. Justice Sotomayor did not explain the level of involvement a substitute witness must have with the "scientific test at issue" to render the witness's testimony permissible under the Confrontation Clause. However, the implication of Justice Sotomay- or's Bullcoming concurrence is that if a substitute expert witness testifies who has even a limited connection to the testing at issue, there might not be any Confrontation Clause violation:
[In Bullcoming, the analyst] conceded on cross-examination that he played no role in producing the BAC report and did not observe any portion ... of the testing.... It would be a different case if, for example, a supervisor who observed an analyst conducting a*705 test testified about the result or a report about such results. We need not address what degree of involvement is sufficient because here [the analyst] had no involvement whatsoever in the relevant teat and report.25
¶ 106. The four dissenting justices in Bullcoming objected to the Bullcoming majority's extension of Melendez-Diaz. According to the dissenters, Melendez-Diaz does not prohibit the introduction of a testimonial forensic report when a knowledgeable representative of a laboratory is "present to testify and to explain the lab's processes and the details of the report."
¶ 107. The dissent reasons that a blood alcohol content analysis "is mechanically performed by the gas chromatograph, which may operate . . . after all the laboratory employees leave for the day."
¶ 108. Keeping these and other post -Crawford writings of the justices of the United States Supreme Court in mind, and seeking the best interpretation of the law available in light of the authorities binding
¶ 109. More specifically, I conclude that in the instant case, cross-examination of a substitute expert witness who fails to provide an independent opinion constitutes a permissible alternative to cross-examination of the analyst who performed the forensic testing at issue when the following conditions are met:
1. The analyst is unavailable for cross-examination, through no fault of the parties;
2. Re-testing is not possible;
3. The analyst recorded the forensic test results at or near the time of testing in the course of a regularly conducted activity and would be unlikely to have an independent memory of the test performed (because, for example, the analyst processed many such tests within a short period);
4. The analyst recorded the results in a way that another expert in the field could understand and interpret; and
5. The substitute expert witness is qualified to discuss and interpret the original results and is subject to cross-examination.
¶ 110. Because these conditions appear to have been met in the present case, I conclude that Harding's substitute expert testimony fulfills the minimum requirements of the Confrontation Clause. Thus, like the majority opinion, I would allow it.
¶ 111. I note, finally, that in determining that Harding's testimony is permissible under the Confrontation Clause, I am cognizant of "the fundamental
[T]here is a fundamental mismatch between the Confrontation Clause's focus on the individual testifying expert and the nature of scientific knowledge production, which is, more often than not, a collective rather than an individual enterprise. Science often depends on a certain degree of epistemic deference to the conclusions and findings of others . . . and scientists are often engaged in "distributed cognition" in which [] the knowledge relevant to a [particular] question . . . stretches across a network of humans and machines. . . . [W]hen a witness uses only a modicum of independent judgment to evaluate and opine on tests done by others, this problem of distributed knowledge and the Confrontation Clause rears its head.29
¶ 112. For the reasons set forth, I write separately.
See, for example, Williams v. Illinois, 132 S. Ct. 2221 (2012), in which four opinions were filed but none received a majority vote. "The persistent ambiguities in the Court's approach are symptomatic of a rule not amenable to sensible applications." Bullcoming v. New Mexico, 131 S. Ct. 2705, 2726 (2011) (Kennedy, J., dissenting). See also People v. Lopez, 286 P.3d 469, 483 (Cal. 2013) (Liu, J., dissenting) ("Given the array of possible doctrinal approaches left open by Williams, one can only surmise that the high court will soon weigh in again.").
See State v. Deadwiller, 2013 WI 75, ¶ 47, 350 Wis. 2d 138, 834 N.W.2d 362 (Abrahamson, C.J., concurring) ("[T]he majority opinion does not help answer the recurring significant central constitutional/evidentiary question presented, namely, 'How does the Confrontation Clause apply to the panoply of crime laboratory reports and underlying technical statements written by (or otherwise made by) laboratory technicians?'").
Crawford v. Washington, 541 U.S. 36, 61 (2004).
State v. Williams, 2002 WI 58, ¶¶ 48-49, 253 Wis. 2d 99, 644 N.W.2d 919.
Id., ¶ 19.
7 Daniel D. Blinka, Wisconsin Practice Series: Wisconsin Evidence § 802.303, at 142 (3d ed., 2014 Pocket Part).
See majority op., ¶¶ 3, 46-47, 52, 55-57.
Williams, 253 Wis. 2d 99, ¶ 19.
David H. Kaye et al., The New Wigmore: Expert Evidence, § 4.10.2, at 200 (2d ed. 2010).
Kaye et al., supra note 9, § 4.12.4, at 69 (Cumulative Supp. 2015).
Kaye et al., supra note 9, § 4.10.2, at 205.
Bullcoming, 131 S. Ct. at 2711.
Id. at 2714. By contrast, the dissent in Bullcoming emphasized the mechanical nature of the gas chromatograph. See Bullcoming, 131 S. Ct. at 2724 (Kennedy, J., dissenting).
Bullcoming, 131 S.Ct. at 2715-16.
Melendez-Diaz, 557 U.S. 305, 319 n.6 (2009). See also Bullcoming, 131 S. Ct. at 2715.
Melendez-Diaz, 557 U.S. at 318.
Indeed, according to an amicus brief submitted in the instant case by the Innocence Network, "[u]nvalidated or improper forensic science is a leading cause of wrongful convictions, playing a role in the cases of almost half of the 321 wrongfully convicted people in the United States who have been exonerated by DNA testing."
Melendez-Diaz, 557 U.S. at 318.
"Thus, when there is both unavailability and a meaningful but imperfect substitute for contemporaneous cross-examination, the Constitution, according to Crawford, does not require wholesale exclusion... . [N]ecessity ought to permit a second-best solution." Kaye et al., supra note 9, § 4.12.2, at 66-67 (Cumulative Supp. 2015).
Bullcoming, 131 S. Ct. at 2727 (Kennedy, J., dissenting).
Under Crawford, a prior opportunity to cross-examine an unavailable witness provides a constitutionally adequate alternative to cross-examination of the witness at trial.
Bullcoming, 131 S. Ct. at 2722 (Sotomayor, J., concurring).
Justice Sotomayor discusses Federal Rule of Evidence 703, explaining that facts and data upon which experts in a given field would reasonably rely in forming an opinion need not be admissible in order for an expert opinion based on such facts and data to be admitted. There is, however, an argument to be made that despite Rule 703, evidence that is excluded from trial on constitutional grounds ought not to be permitted to serve as part of the basis for an expert's conclusion. See Kaye et al., supra note 9, § 4.5, at 158.
Bullcoming, 131 S. Ct. at 2722 (Sotomayor, J., concurring).
Id
Id. at 2723 (Kennedy, J., dissenting).
Id. at 2724 (Kennedy, J., dissenting).
Id. at 2723 (Kennedy, J., dissenting).
Kaye et al., supra note 9, § 4.12.11, at 100 (Cumulative Supp. 2015) (footnotes omitted).
Reference
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